LPL Financial LLC

Broker Dominic Debruin in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Debruin (Debruin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Debruin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $140,000.00 on December 22, 2020.

Claimants allege advisor recommended unsuitable stock and misapprpopriated funds. Activity period: 2013 to 2018 approximate.

There are Recent Customer Complaints with Broker Gayle Lob in Firm LPL Financial LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $65,000.00 on December 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period: 5/2013 – 12/2020.

Broker Cheryl Brown in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

Currently financial advisor Cheryl Brown (Brown), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $450,000.00 on December 15, 2020.

Clients allege that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Date of Activity:12/21/10 to 11/16/20

Broker Dain Stokes in LPL Financial LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dain Stokes (Stokes), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Stokes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 01, 2021.

Customer alleges that between February 2015 and September 2019, representative recommended unsuitable variable annuities and also defrauded customer into investing in promissory notes.

There are Recent Customer Complaints with Broker John Jawor in Firm LPL Financial LLC

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jawor (Jawor), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jawor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $58,000.00 on February 01, 2021.

Claimant alleges that purchases of two alternative investments for customer’s portfolio made 7 years ago were unsuitable. Activity period: 6/2013 to 2/2021.

There are Recent Customer Complaints with Broker James Chiaro in Firm LPL Financial LLC

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $171,000.00 on February 05, 2021.

Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses activity period 1/1/2020 to 5/31/2020

Broker Michael Parrinello in LPL Financial LLC Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Parrinello (Parrinello), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parrinello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,887.71 on February 15, 2021.

The customer alleges misrepresentation of the risk factors and sales charge in regards to the purchase of a mutual fund.

There are Recent Customer Complaints with Broker Howard Romero in Firm LPL Financial LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Romero (Romero), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romero recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Customer alleges that she did not authorize the sale of apple shares on April 2, 2020, and that other investments were unsuitable. Customer seeks return of mismanaged funds. Activity dates: 4/2/20 to 1/18/21.

Broker Paul Peeler in LPL Financial LLC Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on May 16, 2025.

Customer verbally alleged misrepresentation of annuity feature 8/15/2024-4/9/2025

There are Recent Customer Complaints with Broker David Mccain in Firm LPL Financial LLC

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mccain (Mccain), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccain recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on December 16, 2025.

Customer alleges that the representative failed to provide information and requested statements for her account(s).